Advisor at Risk: A Roadmap to Protecting Your Business

"The occupational hazard of being a financial advisor is being sued by clients when some well-meaning advice...
€53,27 EUR
€53,27 EUR
SKU: 9781775383727
Product Type: Books
Please hurry! Only 288 left in stock
Author: Ellen Bessner
Format: Paperback
Language: English
Subtotal: €53,27
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Advisor at Risk: A Roadmap to Protecting Your Business by Bessner, Ellen

Advisor at Risk: A Roadmap to Protecting Your Business

€53,27

Advisor at Risk: A Roadmap to Protecting Your Business

€53,27
Author: Ellen Bessner
Format: Paperback
Language: English

"The occupational hazard of being a financial advisor is being sued by clients when some well-meaning advice does not work out. Securities lawyer Ellen Bessner's Advisor at Risk is an essential guide that maps out how advisors can protect their business reputation and licence from unwelcome litigation and regulatory complaints." -- Jonathan Chevreau, National Post

Advisor at Risk is the complete resource for taking control of risk and securing good business. It is a best practices must-read for anyone in the investment and insurance industries who wants to avoid becoming the target of client complaints, regulatory investigations, litigation proceedings and damaging press releases.

Author Ellen Bessner takes an in-depth look at risks to advisors and provides practical, easy-to-follow strategies. Drawing on over 25 years of firsthand experience, she stresses the importance, for example, of knowing your client and managing their expectations while maintaining their expectations while maintaining a solid paper trail should a dispute emerge.

Who should read this book:

  • Licensed and unlicensed individuals working in investment or insurance industries
  • Branch managers and supervisors
  • Licensed and unlicensed assistants supporting advisors or agents
  • Rookies


Author: Ellen Bessner
Publisher: Babin Bessner Spry Llp
Published: 10/16/2018
Pages: 180
Binding Type: Paperback
Weight: 0.60lbs
Size: 9.00h x 6.00w x 0.41d
ISBN: 9781775383727

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